A new online database allows donors and advisers to search for donations of $1 million or more
UBS took a massive $2B hit from what it says was unauthorized trading by an employee. The loss puts the Swiss bank in elite company, along with several other financial institutions that have been rocked by bad bets. Here's the ten worst in recent years.
Gensler says JPMorgan loss proves regulations need to cover international contracts, as well
Swiss bank may also have to reduce headcount even further
Georgia requested information from UBS, Morgan Stanley and Ameriprise Financial in its probe over whether the firms broke the state's securities laws in sales of structured notes called reverse convertibles.
Financial Planning Coalition sends petition to Congress urging adoption of single standard of care; 'isolated pocket of opposition'
Advisor Group — the independent-broker-dealer business of American International Group Inc. — tomorrow is unveiling a re-engineered second generation of its technology platform, now to be called Vision 2020 Wealth Management
Veteran insurance agent Paul A. Mattus has filed suit against The Allstate Corp., claiming that the carrier muscled him out of his book of business and passed it on to a newer, younger agent
President Obama made the lives of advisers, accountants and taxpayers easier today by removing the burden of having to get permission to use trademarked tax strategies.
State regulators of investment advisers should reach out to Finra, which provides broker-dealer oversight, to ensure that advisers act in their clients' best interests, according to the new head of NASAA.
Asset manager issues proposal to reform exchange-traded-fund industry
The Municipal Securities Rulemaking Board has yanked all six of its proposed rules covering municipal advisers today, triggered by worries about the Securities and Exchange Commission's proposed definition of a municipal adviser.
House panel will explore SEC reports recommending that the commission impose a universal fiduciary duty on anyone providing retail investment advice and harmonize regulations governing investment advisers and broker-dealers.
A new Charles Schwab & Co. Inc. survey finds that married couples think retirement planning is easier for singles. The reality is far different, however.
Insurer agrees to settle charges it violated the FCPA; carrier allegedly netted $11.4M from $3.6M in payments
Investment products must generate income streams; advisers still on the fence about annuities, however
